Transportation Appeal Tribunal of Canada
2008-2009
Report on Plans and Priorities
______________________________________
The Honourable Lawrence Cannon, P.C., M.P.
Minister of Transport, Infrastructure and Communities
Table of Contents
Section I: Overview ..................................................................................................................................................... 1
1.1
Chairperson’s Message ............................................................................................................................... 1
1.2
Management Representation Statement...................................................................................................... 2
1.3
Summary Information................................................................................................................................. 3
1.4
Agency Plans and Priorities ........................................................................................................................ 7
Section II: Analysis of Program Activity by Strategic Outcome ........................................................................... 13
2.1
Detailed Analysis of Program Activity ..................................................................................................... 13
Section III: Supplementary Information ................................................................................................................. 15
3.1
Departmental Link to Government of Canada Outcome Areas ................................................................ 15
3.2
Services Received Without Charge .......................................................................................................... 15
Section IV: Other Items of Interest .......................................................................................................................... 17
Section V: Index ......................................................................................................................................................... 19
Section I: Overview
1.1
Chairperson’s Message
I am pleased to present the 2008-2009 Report on Plans and Priorities of the Transportation
Appeal Tribunal of Canada, formerly the Civil Aviation Tribunal. The Transportation Appeal
Tribunal of Canada is a quasi-judicial body established in June 2003 (S.C. 2001, c. 29) to
provide an independent process of review of administrative and enforcement actions – including
the suspension and cancellation of licences, certificates and other documents of entitlement, the
issuance of railway orders, and the imposition of administrative monetary penalties – taken under
various federal transportation Acts.
The Tribunal conducts its hearings at various locations in Canada in an open and impartial
manner consistent with procedural fairness and the rules of natural justice. It adjudicates matters
that will have a serious impact on the livelihood and operations of the aviation, rail and marine
communities in 2008-2009. Given its itinerant structure and process for conducting hearings, the
Tribunal is readily accessible to those communities.
The requisite knowledge and experience of Tribunal members enhances their independence by
enabling them to understand and assess the validity of the various administrative transportation
actions. It also increases the confidence placed in the decisions as an expert quasi-judicial review
body.
There will be a significant increase in the Tribunal’s workload in the months ahead. Following
the addition of the marine sector to the Tribunal’s mandate in 2003, the regulations respecting
the Marine Transportation Security Act are now in force and the Administrative Monetary
Penalty Regulations pursuant to the Canada Shipping Act 2001 will be effective at the beginning
of March, 2008. Accordingly, preparations for extensive training programs for part-time
members are now underway.
As well, with the addition of Tribunal jurisdiction to review the refusal to issue or amend
Canadian aviation documents, the number of applications requiring determination of disputed
jurisdictional issues has increased the Tribunal’s workload. It is anticipated that key
jurisprudence establishing Tribunal jurisdiction for a defined list of Canadian aviation documents
will emerge over the next couple of years.
Thus, the direction for this Tribunal for the years ahead will be its challenge to contain its
growing mandate to current standards to ensure that the Tribunal continues to be regarded as one
of government’s best practices. Having recognized the commitment of members and staff to its
mandate, I am confident that the Tribunal will continue to successfully meet its challenges.
Faye Smith
Chairperson
1
1.2
Management Representation Statement
I submit for tabling in Parliament the 2008-2009 Report on Plans and Priorities for the
Transportation Appeal Tribunal of Canada.
This document has been prepared based on the reporting principles contained in the Guide for
the Preparation of Part III of the 2008-2009 Estimates: Reports on Plans and Priorities and
Departmental Performance Reports:
•
it adheres to the specific reporting requirements outlined in the Treasury Board of
Secretariat guidance;
•
it is based on the department’s Strategic Outcome and Program Activity
Architecture that were approved by the Treasury Board;
•
it presents consistent, comprehensive, balanced and reliable information;
•
it provides a basis of accountability for the results achieved with the resources and
authorities entrusted to it; and
•
it reports finances based on approved planned spending numbers from the
Treasury Board Secretariat.
________________________________
Faye Smith
Chairperson
2
1.3
Summary Information
Raison d’être
The mission of the Transportation Appeal Tribunal of Canada is to review the Minister of
Transport’s enforcement and licensing decisions through a two-level hearing process. The
Tribunal has a commitment to openness and cooperation and is mandated to conduct informal,
expeditious and fair hearings.
Organizational Information
The Chairperson is the Chief Executive Officer of the Tribunal and has supervision over and
direction of the work and staff of the Tribunal including:
•
•
•
•
apportionment of work among its members;
assignment of members to hear matters brought before the Tribunal;
conduct of the work of the Tribunal; and
management of its internal affairs.
The Tribunal reports to Parliament through the Minister of Transport.
The Chairperson, Vice-Chairperson and immediate staff account for 12 full-time equivalents.
Twenty-nine part-time members were in office during 2006-2007. Members are drawn from
across Canada and are appointed by Order in Council on the basis of their knowledge and
expertise. At the end of 2007, seven part-time members were appointed, six in aeronautics and
one in marine sectors.
CHAIRPERSON
VICE-CHAIRPERSON
REGISTRY
SECRETARY
MEMBERS
OPERATIONS
COMMUNICATIONS
PACIFIC (4)
PRAIRIE & NORTHERN (5)
ONTARIO (7)
QUEBEC (10)
ATLANTIC (3 )
The lower half of the organization chart displays the distribution of part-time members by
region. All members report to the Chairperson.
3
Table 1: Voted and Statutory Items listed in Main Estimates
2008-2009
Vote or
Statutory
Item
70
(S)
Truncated Vote or Statutory
Wording
(Thousands of dollars)
2008-2009
Main Estimates
2007-2008
Main Estimates
Program expenditures
Contributions to employee benefit
plans
1 213.0
1 207.0 *
121.0
126.0
Total for Agency
1 334.0
1 333.0
Table 2: Departmental Planned Spending and Full Time Equivalents
Forecast
Spending
2007-2008
Planned
Planned
Planned
Spending
Spending
Spending
2008-2009 2009-2010 2010-2011
Budgetary main estimates (gross)
1 333.0
1 334.0
1 334.0
1 334.0
Total main estimates
1 333.0
1 334.0
1 334.0
1 334.0
100.0
100.0
100.0
264.2
100.0
100.0
100.0
1 597.2
1 434.0
1 434.0
1 434.0
230.2
225.7
224.6
224.6
1 827.4
1 659.7
1 658.6
1 658.6
12
12
(Thousands of dollars)
Review and appeal hearings
Adjustments:
Supplementary estimates
Carry forward
Additional funding from Transport Canada**
Compensation for Salary Adjustments
Policy framework for airports
60.0
199.2
5.0
Total adjustments
Total planned spending
Plus: cost of services received without charge
Total agency spending
12
Full-time equivalents
12
*Restated to balance last year main estimate
** Funding was requested from Transport Canada to hire additional employees and to provide training sessions for
newly-appointed part-time members.
4
Financial Resources
(Thousands of dollars)
2008-2009
2009-2010
2010-2011
1 334.0
1 334.0
1 334.0
2008-2009
2009-2010
2010-2011
12
12
12
Human Resources
Full-time equivalent (FTEs)
Agency Priorities
Type
Description
Priority 1 : Hold hearings expeditiously and informally
Priority 2 : Business Continuity Plan
Priority 3:
Ongoing
New
Increase awareness of the Transportation
Appeal Tribunal of Canada with respect to its
mission, mandate, role and results achieved
5
New
Program Activity by Strategic Outcome
Planned Spending
(Thousands of dollars)
Expected Results 2008–2009
2009–2010
2010–2011
Contributes to the
Following Priority
Strategic Outcome: To provide Canadian transportation community with the opportunity to
have administrative or enforcement actions under federal transportation Acts reviewed by an
independent body.
Access to an
independent
assessment
governed by
considerations of
natural justice
Program
Activity :
review and
appeal hearings
Plans, measures
and arrangements
are in place to
ensure the
continuous
delivery of
critical services,
which permits the
organization to
recover its data
and assets
Improved
awareness and
better information
among the
Transportation
community and
key stakeholders
with respect to
the Tribunal’s
mandate, services
and decisions
1 304.0
10.0
20.0
6
1 334.0
0.0
0.0
1 334.0
0.0
0.0
Priority 1:
Hold hearings
expeditiously and
informally
Priority 2:
Business
Continuity Plan
Priority 3:
Increase awareness
of the
Transportation
Appeal Tribunal of
Canada with
respect to its
mission, mandate,
role and results
achieved
1.4
Agency Plans and Priorities
The Transportation Appeal Tribunal of Canada replaced the Civil Aviation Tribunal which was
established under Part IV of the Aeronautics Act in 1986. On the recommendation of the Minister
of Transport, pursuant to section 73 of the Transportation Appeal Tribunal of Canada Act,
assented to on December 18, 2001, being chapter 29 of the Statutes of Canada, 2001, the Act
officially came into force on June 30, 2003. The Transportation Appeal Tribunal of Canada, a
multi-modal tribunal, is available to the air, rail and marine sectors. The Transportation Appeal
Tribunal of Canada Act amends the Aeronautics Act, the Canada Shipping Act, the Marine
Transportation Security Act and the Railway Safety Act to establish the jurisdiction and
decision-making authorities of the Tribunal under those Acts. The Tribunal’s jurisdiction
extending to the rail sector is expressly provided for under the Aeronautics Act and the
Railway Safety Act (section 2 of the Transportation Appeal Tribunal of Canada Act). The
mandate of the Tribunal expands to act as a multi-modal review body for administrative
licensing and enforcement actions taken under various federal transportation Acts. Increased
jurisdiction for the Tribunal will enlarge its caseload considerably over the next few years, but
the business line will not be amended. The office of the Tribunal is located in the National
Capital Region.
The Tribunal’s yearly seminars ensure a trained membership through updates and discussions of
legislative changes. The interaction of members and role play scenarios assist the membership in
achieving quality and consistency in making and in writing its decisions. A panel discussion
takes place with representatives from the transportation community to provide feedback to the
Tribunal on services delivery to clients.
The Tribunal strives to provide determinations with written reasons quickly, allowing
Transport Canada and document holders to better understand the outcome of the matter and,
where applicable, to make a more enlightened decision as to the exercise of their right to appeal.
In 2006-2007, the average lapsed time between the conclusion of a review hearing and the
issuance of a determination was 115 days for a review and 76 days for an appeal. Increased
number of hearing days and increasing case complexity provide justification for the additional
time needed by members in providing written reasons.
Small Agency Challenges
Like all federal institutions, the Tribunal faces the challenge of carrying out its statutory
responsibility and dealing with the heavy burden of transparent and accountable reporting, while
at the same time being careful when spending public funds. The Tribunal has adopted efficient
business practices, high standards for service delivery and transparent reporting on its activities
and results.
As a very small agency, the Tribunal faces a particular challenge in operating in that there are a
myriad of tasks for a small staff. This is compounded by the fact that the workload is
unpredictable and changing. To face these particular challenges, the Tribunal has always
followed the practice of contracting to government departments and the private sector for many
of the services not required on a full-time basis. The Tribunal also selects staff who have
multiple skills, are flexible, and are interested in having a variety of responsibilities and taking
initiative. Furthermore, Tribunal members are appointed on a part-time basis, a fact which adds
to our economic efficiency as their services are on an as needed basis. To this end, the Tribunal
has a high level of expertise at reasonable cost.
7
Human Resources
While staff turnover is not great in absolute numbers, for a small organization such as the
Tribunal, with just 12 staff members, the departure of even two or three personnel over the
course of a year can have a significant impact on carrying through with that year's plans and
priorities – corporate memory is lost, key functions must be added to the responsibilities of
others in the organization, and the process of recruiting and appointing replacement staff can
take a number of months. Therefore, the Tribunal will continue a strategic approach to planning
of human resources to ensure continuity and stability of service delivery. Staffing decisions will
be linked to planning priorities through updating the Human Resources Plan on regular basis.
As an additional measure to enhance the quality of the work environment at the Tribunal, a
learning framework has been established for employees, and individual learning plans have been
formalized, including a monitoring system to ensure employees are advancing toward their stated
goals.
Priorities for 2008-2009
The Tribunal has identified three priorities for 2008-2009. All are strategic investments aimed at
finding ways to enhance the Tribunal's relevance and contribution to transportation safety in
Canada and to strengthen the organization from within.
1) Access to an Independent Assessment Governed by Considerations of Natural Justice
To this end, the Tribunal plans to:
ƒ
ƒ
ƒ
ƒ
ƒ
ensure that its members and staff maintain a high level of expertise;
apply a decision-making process that is governed by the rules of fairness and the
regulations and legal principles applicable to the case;
process each request as quickly as possible;
make all of its decisions publicly available; and
act as mediator and facilitator for earlier resolution of disputes.
The results will be:
ƒ
ƒ
the Tribunal, a competent and independent body, will deal fairly, efficiently and in a
timely and transparent manner with requests; and
services will be available to resolve transportation-related disputes in an informal
manner that is simple, rapid, less litigious and less costly.
8
Performance will be monitored by:
ƒ
ƒ
ƒ
ƒ
ƒ
ƒ
ƒ
ensuring that services are available to informally resolve transportation-related disputes
in a manner that is simple, rapid, less litigious and less costly;
ensuring that hearings are held expeditiously and informally;
the timely disposition of review and appeal hearings within service standards;
ensuring that hearings are being conducted in accordance with the rules of fairness and
natural justice;
the use of pre-hearing conferences to streamline and expedite the hearing process;
the quality and consistency of decision-making; and
a level of satisfaction by the transportation community.
2) Business Continuity Plan
The Government Security Policy requires that critical services and associated assets must remain
available in order to assure the health, safety, security and economic well-being of Canadians,
and the effective functioning of government. This requires departments and agencies to establish
a Business Continuity Plan.
Critical functions are essential services to the public which, if interrupted, could threaten the
security of Canadians or result in the loss of business with serious financial or economic impacts
or consequences.
To this end, the Tribunal plans to:
•
•
develop a business continuity plan; and
develop the necessary tools to maintain its business continuity plan readiness.
The results will be:
•
•
plans, measures and arrangements will be in place to ensure the continuous delivery of
critical services, which permits the organization to recover its data and assets; and
the necessary resources will have been identified to support business continuity,
including personnel, information, equipment, financial allocations, infrastructure
protection and accommodations.
Performance will be measured by:
•
•
•
having a policy and procedures in place to ensure that critical functions are available
when needed;
updating and testing the plans; and
ensuring compliance with Treasury Board standards.
9
3) Increase awareness of the Transportation Appeal Tribunal of Canada with respect to its
mission, mandate, role and results achieved.
To this end, the Tribunal plans to:
•
implement ongoing enhancements and improvements to the Tribunal Web site to ensure
and continue to provide an accessible and comprehensive source of information about
services and the hearing process.
The results will be:
•
improved awareness and better information among the transportation community and key
stakeholders with respect to the Tribunal’s mandate and services.
Performance will be monitored by:
•
•
evaluating the feedback from members and stakeholders at seminars and training
sessions;
making Tribunal decisions available to the public.
Improving Management Practices
The Tribunal will continue to work in partnership with three other small quasi-judicial agencies:
the Canadian Artists and Producers Professional Relations Tribunal, the Copyright Board and the
Competition Tribunal (“cluster group”) on implementing government-wide initiatives and
continuing valuable work on those initiatives already implemented. The Tribunal also works
collaboratively with other networks such as the Small Agency Transition Support Team for
expertise related to human resources issues, and the Micro and Small Agency Labour
Management Consultation Committee to ensure adherence to the Public Service Labour
Relations Act.
10
Social Union Framework Agreement
The Transportation Appeal Tribunal of Canada represents the only forum for ensuring that the
document holders have access to an independent assessment governed by considerations of
natural justice. There are approximately 83 847 licensed aviation personnel, 34 858 rail
personnel in Canada and approximately 28 737 registered aircraft and 3 000 locomotives in
service. Because of this volume, the number of infractions will rise. The level of enforcement
action is entirely controlled by Transport Canada, which in turn determines the workload of the
Tribunal. The Tribunal is also affected by the Department’s rewrite of its aviation, rail and
marine regulations, including the designation of a large number of offences under the designated
provisions set out in the Canadian Aviation Regulations, the Marine Transportation Security Act,
the Railway Safety Act and the Canada Shipping Act 2001.
Last year, the Tribunal’s jurisdiction was increased to include the International Bridges and
Tunnels Act. It is anticipated that regulations relating to the marine sector will be in effect in the
last quarter of the current fiscal year. As well, additional legislation respecting airports will be
implemented over the next few years that will have the effect of increasing the number of
offences under the designated provisions which in turn will affect the workload of the Tribunal.
On the prediction of an increased caseload of as much as 50 percent with the Tribunal’s
expansion to include the marine sector, the Tribunal will need additional funding to sustain its
multi-modal mandate. The most significant upcoming challenge for the Tribunal will be its
expansion as a multi-modal transportation tribunal. The reorganization of the Tribunal will
increase the overall workload and require expansion of capacity in new areas of expertise: more
members will have to be appointed and trained. Existing employees will likely require additional
training, and more staff will have to be hired to ensure that current efficiencies will be
maintained.
11
12
Section II: Analysis of Program Activity by Strategic Outcome
2.1
Detailed Analysis of Program Activity
Strategic Outcome
The strategic outcome of the Tribunal is to provide the Canadian transportation community with
the opportunity to have administrative or enforcement actions under federal transportation Acts
reviewed by an independent body.
Review and Appeal Hearings
The objective is to provide for the operation of an independent Tribunal to respond to requests
from the transportation community for review of enforcement and licensing decisions taken by
the Minister of Transport under the Aeronautics Act, the Canada Transportation Act, the
Railway Safety Act, the Marine Transportation Security Act and the Canada Shipping Act 2001,
and to conduct hearings into such appeals.
Financial Resources
(Thousands of dollars)
2008-2009
2009-2010
2010-2011
1 334.0
1 334.0
1 334.0
2008-2009
2009-2010
2010-2011
12
12
12
Human Resources
Full-time equivalent (FTEs)
The Tribunal’s only activity is the provision of an independent review process for aviation, rail
and marine by providing document holders with the opportunity to proceed with a hearing. The
Tribunal represents the only forum ensuring that document holders have access to an
independent assessment governed by considerations of natural justice. Its role does not overlap
with, nor is it duplicated by, any other agency, board or commission. It is unique in the
transportation sector in that its function is entirely adjudicative.
The Minister’s enforcement and licensing decisions may include the imposition of monetary
penalties or the suspension, cancellation, refusal to issue or refusal to renew documents of
entitlement for reasons of incapacity or other grounds. The person or corporation affected is
referred to as the document holder.
13
All hearings are held expeditiously and informally, according to the rules of fairness and natural
justice. At the conclusion of a hearing, the Tribunal may confirm the Minister’s decision,
substitute its own decision, or refer the matter to the Minister for reconsideration.
In conducting its reviews of enforcement and licensing decisions of the Minister of Transport,
the Transportation Appeal Tribunal of Canada provides a public interest program that is unique
to transportation in Canada. The Tribunal’s efficiencies provide visible validation and
confirmation of Canada’s transportation safety system. Moreover, the Tribunal process is able to
quickly identify concerns in the transportation sector of a technical or legislative nature, leading
to necessary amendments to legislation for the benefit of all Canadians through the enhancement
and maintenance of transportation safety in Canada.
The program’s effectiveness can be measured by its ability to provide the transportation
community with the opportunity to have ministerial decisions reviewed fairly, equitably and
within a reasonable period of time. Tribunal hearings are readily accessible to the lay person
without the attendant legal complexities and case backlogs which were visited upon the court
system that prevailed prior to the creation of this Tribunal and its predecessor, the Civil Aviation
Tribunal.
14
Section III: Supplementary Information
3.1 Departmental Link to Government of Canada Outcome Areas
The whole of government framework was introduced in Canada's Performance 2002, and has
evolved through departmental consultations over the years.
The framework provides a structural "logic model" for the Government of Canada - mapping the
contributions of departments, agencies and Crown corporations that receive appropriations to a
set of high-level Government of Canada outcome areas.
To achieve its strategic outcome, the Tribunal identified three strategic priorities in its Report on
Plans and Priorities. The following table outlines the Tribunal's strategic outcome and alignment
to Government of Canada outcomes.
(Thousands of dollars)
Strategic Outcome: To provide the Canadian transportation community with the opportunity to
have administrative or enforcement actions under federal transportation Acts reviewed by an
independent body.
Planned Spending
Expected
Alignment to Government of
Results
Canada Outcome Area
2008-2009 2009-2010 2010-2011
High quality
Tribunal
hearing
information
readily
Review
accessible to
and appeal the lay person
hearings without the
attendant legal
complexities
and case
backlogs
1 334.0
1 334.0
1 334.0
Safe and secure
communities
More information regarding the whole of government framework is available at the following
address: http://www.tbs-sct.gc.ca/pubs_pol/dcgpubs/mrrsp-psgrr/wgf-cp_e.asp.
3.2 Services Received Without Charge
2008-2009
(Thousands of dollars)
Accommodation provided by Public Works and Government
Services Canada
Contributions covering employer’s share of employees’ insurance
premiums and expenditures paid by Treasury Board of Canada
Secretariat (excluding revolving funds)
2008-2009 services received without charge
170.6
55.1
225.7
15
16
Section IV: Other Items of Interest
Transportation Appeal Tribunal of Canada
333 Laurier Avenue West
Room 1201
Ottawa, Ontario
K1A 0N5
Publications
• Performance Report - March 31, 2007
• Annual Report 2006-2007
• Guide for Applicants
Telephone: 613-990-6906
Fax: 613-990-9153
e-mail: info@tatc.gc.ca
Internet Web Site: http://www.tatc.gc.ca
• The Transportation Appeal Tribunal of
Canada: pamphlet
Faye Smith – Chairperson
Vacant – Vice-Chairperson
Mary Cannon – Registrar (Ontario, Prairie
and Northern and Pacific Regions)
Monique Godmaire – Registrar
(Headquarters, Quebec and Atlantic Regions)
Suzanne Lagacé – Communications Manager
Carl Poulin – Executive Services Manager
17
18
Section V: Index
A
Access to an Independent Assessment Governed by Considerations of Natural Justice ...............................................8
Agency Plans and Priorities ........................................................................................................................................... 7
Agency Priorities ........................................................................................................................................................... 5
Analysis of Program Activity by Strategic Outcome .................................................................................................. 13
B
Business Continuity Plan ............................................................................................................................................... 9
C
Chairperson’s Message .................................................................................................................................................. 1
D
Departmental Link to Government of Canada Outcome Areas ................................................................................... 15
Departmental Planned Spending and Full Time Equivalents ........................................................................................ 4
Detailed Analysis of Program Activity ........................................................................................................................ 13
F
Financial Resources ................................................................................................................................................. 5, 13
H
Human Resources ................................................................................................................................................ 5, 8, 13
I
Improving Management Practices ............................................................................................................................... 10
Increase awareness of the Transportation Appeal Tribunal of Canada........................................................................ 10
M
Management Representation Statement......................................................................................................................... 2
O
Organizational Information ........................................................................................................................................... 3
Other Items of Interest ................................................................................................................................................. 17
Overview ....................................................................................................................................................................... 1
P
Priorities for 2008-2009................................................................................................................................................. 8
Program Activity by Strategic Outcome ........................................................................................................................ 6
R
Raison d’être .................................................................................................................................................................. 3
Review and Appeal Hearings ...................................................................................................................................... 13
S
Services Received Without Charge ............................................................................................................................. 15
Small Agency Challenges .............................................................................................................................................. 7
Social Union Framework Agreement .......................................................................................................................... 11
Strategic Outcome ....................................................................................................................................................... 13
Summary Information.................................................................................................................................................... 3
Supplementary Information ......................................................................................................................................... 15
V
Voted and Statutory Items listed in Main Estimates ...................................................................................................... 4
19